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Technology Stocks : Stock Swap
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To: Yiqun Xie who wrote (16048)1/4/1999 8:03:00 PM
From: Patrick Slevin   of 17305
 
Yes, the broker is regulated by the National Association of Securities Dealers. It does not matter where the issue is traded.

Second, make sure to speak with the Compliance Officer (at the firm) and get his/her name. Ask for the Compliance guy, don't just speak to "anyone" or a manager or whatever. The Compliance guy is responsible for regulation at the branch.

Let me look up some notes and see if I can find anything else.
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